WINTERFLOOD SECURITIES LIMITED

• Principal Place of Business

  Riverbank House

  2 Swan Lane

  London

  EC4R 3GA

  UNITED KINGDOM

  Phone

  +4402031000000

  Web

  https://www.winterflood.com

• Complaints Contact

  Riverbank House

  2 Swan Lane

  London

  EC4R 3GA

  UNITED KINGDOM

  Phone

  +4402031000000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trade Settlement Routing

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Electronic Trade Settlement

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Philip James Yarrow

  IRN PJY01018

  • SMF10 Chair of the Risk Committee (31 Mar 2020 to 20 Sep 2022)
  • SMF1 Chief Executive (9 Dec 2019 to 20 Sep 2022)
  • SMF3 Executive Director (9 Dec 2019 to 20 Sep 2022)
  • CF3 Chief Executive (1 Aug 2015 to 8 Dec 2019)
  • CF1 Director (6 Nov 2002 to 8 Dec 2019)
• Phillip Coleman

  IRN PXC00483

  • [FCA CF] Manager of certification employee (29 Nov 2022 to 27 Sep 2024)
• Phillip Robert John Bungey

  IRN PRB01186

  • CF29 Significant management (29 Sep 2010 to 1 Oct 2013)
• Phoebe Pankhurst

  IRN PXP00319

  • [FCA CF] Client dealing (1 Aug 2023 to 14 Jun 2024)
• Rachael Marie Margaret Tracy

  IRN RXT10427

  • CF30 Customer (17 Jan 2019 to 8 Dec 2019)
• Rachel Bennett

  IRN RXB01022

  • [FCA CF] Client dealing (4 Feb 2025 to 6 Jan 2026)
• Rebekah Coughlan

  IRN RXC00197

  • SMF18 Other Overall Responsibility (since 8 Dec 2025)
  • SMF3 Executive Director (24 Nov 2022 to 8 Dec 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 25 Nov 2022)
• Rhodri Rhys Griffiths

  IRN RRG01025

  • CF30 Customer (18 Sep 2009 to 16 Dec 2009)
• Richard Abrahams

  IRN RXA01125

  • CF30 Customer (7 Oct 2008 to 16 Dec 2009)
• Richard Charles Pitkeathly Merry

  IRN RCM01055

  • CF26 Customer Trading (1 Dec 2001 to 1 Aug 2003)

No changes recorded yet.